Investment Due Diligence

The Importance of Investment Due Diligence

ERISA holds fiduciaries to high standards when it comes to making investment selections for retirement plan participants. It is critical that plan sponsors and fiduciaries have a well documented process in place for the selection and monitoring of investment options. Conducting investment due diligence can be a time-consuming, costly and labor intensive process. If you don't have the right resources, you may find yourself spending a considerable amount of time conducting your own research or working with out-of-date information. The Lifetime Wealth Advisors make the due diligence process seamless through access to a proven, easy-to-use service.

Our Investment Due Diligence Solution

No matter the size of your practice, the LPL Financial CFA-led team of analysts can provide you with access to institutional quality proprietary research needed to effectively evaluate investment line-ups. The scoring system provides you with a single point from which to measure and evaluate investment options. The score factors in style, risk-return, peer group and qualitative analyses.

How It Works

LPL Financial internal analysts actively examine the market to compile precise, up-to-date quarterly investment due diligence reports, including:

  • One-Page Scorecards
  • Platform Due Diligence Books
  • Market Commentary
  • Investment Analysis
  • Expense Ratio Analyzer
  • Blue Ribbon & Watch List
  • Pertinent Market Analysis Exhibits

These resources demonstrate our commitment to providing our retirement plan advisors with institutional quality research, broad coverage, accurate and timely information. Performing this level of analysis is necessary to meeting both the Department of Labor guidelines and managing exposure to fiduciary liability.

Benefits to Employers

  • Consistent, timely, reliable research on a quarterly basis
  • Comprehensive reporting
  • Documented process to comply with
  • Department of Labor guidelines

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